0000920112-17-000149.txt : 20170314
0000920112-17-000149.hdr.sgml : 20170314
20170314172150
ACCESSION NUMBER: 0000920112-17-000149
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170311
FILED AS OF DATE: 20170314
DATE AS OF CHANGE: 20170314
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HEARTLAND FINANCIAL USA INC
CENTRAL INDEX KEY: 0000920112
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 421405748
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
BUSINESS PHONE: 5635892000
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FULLER LYNN B
CENTRAL INDEX KEY: 0001184324
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15393
FILM NUMBER: 17688992
MAIL ADDRESS:
STREET 1: 1398 CENTRAL AVE
CITY: DUBUQUE
STATE: IA
ZIP: 52001
4
1
wf-form4_148952649543852.xml
FORM 4
X0306
4
2017-03-11
0
0000920112
HEARTLAND FINANCIAL USA INC
HTLF
0001184324
FULLER LYNN B
1398 CENTRAL AVE.
DUBUQUE
IA
52001
1
1
0
0
Chairman & CEO
Common Stock
584467
I
As Trustee
Common Stock
2017-03-11
4
M
0
1733
50.20
A
586200
I
As Trustee
Common Stock
301616
I
Family LLLP
Common Stock
5000
I
Spouses Trust
Common Stock
0
D
Common Stock
12188
I
HTLF Retirement Plan
Common Stock
123078
I
As Trustee
2017 Time-Based Restricted Stock
Common Stock
3455.0
0
D
2017 Performance Based Restricted Stock (3-year performance)
Common Stock
1727.0
0
D
2017 Performance Based Restricted Stock (1-year performance)
Common Stock
3455.0
0
D
2016 Time-Based Restricted Stock
Common Stock
3173.0
0
D
2016 Performance Based Restricted Stock (3-year performance)
Common Stock
2524.0
0
D
2016 Performance Based Restricted Stock (1-year performance)
Common Stock
5300.0
0
D
2015 Time-Based Restricted Stock
Common Stock
5000.0
0
D
2015 Performance Based Restricted Stock
Common Stock
3500.0
0
D
2014 Time-Based Restricted Stock
Common Stock
5200.0
0
D
2014 Time-Based Restricted Stock
2017-03-11
4
F
0
1733
0
D
Common Stock
3467.0
0
D
2013 Time-Based Restricted Stock
Common Stock
1925.0
0
D
These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
These shares are held by LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners.
These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protectin Act of 2006.
These shares held by Emma O. Fuller Trust dated 9-3-85 Dubuque Bank & Trust, Lynn B Fuller, Trustee
Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
These restricted stock units vest in 2020 if certain performance measures are achieved by the Issuer.
These restricted stock units vest on 1-19-2020 if certain performance measures are achieved by the Issuer.
Of these restricted stock units, 1/3 vest on 1-19-2017, 1/3 vest on 1-19-2018, and 1/3 vest on 1-19-2019.
These restricted stock units vest in 2019 if certain performance measures are achieved by the Issuer.
These restricted stock units vest on 1-19-2019 if certain performance measures are achieved by the Issuer.
Of these restricted stock units, 1/3 vest on 1-20-2018, 1/3 vest on 1-20-2019, and 1/3 vest on 1-20-2020.
These restricted stock units vest on 1-18-2018 if certain performance measures are achieved by the Issuer.
Of these restricted stock units, 1/3 vest on 3-11-2017, 1/3 vest on 3-11-2018, and 1/3 vest on 3-11-2019.
Of these restricted stock units, 1/3 vest on 1-22-2016, 1/3 vest on 1-22-2017, and 1/3 vest on 1-22-2018.
/s/ Lynn B. Fuller
2017-03-13